Topic
Private Placement
194 published works
GT Israel Law Blog
GT Represents Cyren in $10.2 Million Private Placement
Congratulations to our longstanding client Cyren (NASDAQ:CYRN), an Israeli provider of email security and threat intelligence solutions, on recently completing a $10.2 Million Private Placement at a Premium to Market.…
Securities Law Prof Blog
New Securities Law Articles in Print
The following law review articles relating to securities regulation are now available in paper format:Nathan Campbell, Note, The Duty to Update Corporate Emissions Pledges, 74 Vand. L. Rev. 1137 (2021).Christina…
Compliance Building
General Solicitation and Placement Agent Agreements
D.H. Hill Securities got hit with a FINRA penalty for violating the private placement offering rules. FINRA concluded that D.H. Hill did not have a pre-existing, substantive relationships with several…
Free Writings + Perspectives
FINRA Expands Scope of Filing Requirements for Private Placements
In Regulatory Notice 21-26 (July 15, 2021), FINRA amended the filing requirements of Rules 5122 and 5123 to require members to file with FINRA any “retail communications,” as defined in…
Free Writings + Perspectives
Private Placement Filer Form
Last week, the updated form to be used by placement agents in connection with private placements that is required to be filed with FINRA pursuant to Rule 5123 became effective. …
Elizabeth L. Carter Blog
Introduction to Private Placements : Regulation D
Under the federal securities laws a company may not offer or sell securities unless the offering has been registered with the SEC or an exemption from registration is available. A…
Free Writings + Perspectives
PLI’s Private Placements and Hybrid Securities Offerings 2021
PLI’s Private Placements and Hybrid Securities Offerings 2021 April 19 - 20, 2021 Webinar Register here. Mayer Brown invites you to the Practising Law Institute’s Private Placements and Hybrid Securities…
China Law Insight
锦江酒店成功完成50亿元定向增发
By King & Wood
近日，经中国证券监督管理委员会核准，上海锦江国际酒店股份有限公司（简称“锦江酒店”，股票代码：600754）成功完成向特定对象非公开发行112,107,623股A股股票项目，募集资金总额约人民币50亿元。本项目系上海市首个遵照《上市公司国有股权监督管理办法》之规定成功过会，确保发行证券未导致国家出资企业持股比例低于合理持股比例的情况下，由国家出资企业负责管理的项目。 锦江酒店为上海市国资委全资控股的锦江国际集团的旗下企业，系中国领先的酒店、餐饮业上市公司，主要从事全服务酒店及有限服务酒店的投资营运和管理，以及餐饮业的投资与经营。 本项目中，金杜律师事务所作为锦江酒店本次非公开发行A股项目的发行人律师，全程参与了本项目的各个环节，为客户提供了全面、系统的法律服务，得到客户和其他中介团队的高度认可。除此次锦江酒店定向增发项目之外，金杜还曾在锦江国际集团收回花园酒店、静安希尔顿饭店、太平洋饭店、扬子江酒店等诸多沪上知名酒店的外方权益的项目中提供法律服务。 本项目的牵头合伙人为赵晓红，主办合伙人为徐辉、陈复安，主办律师为姚应晨。
Corporate & Financial Weekly Digest
FINRA Publishes Updates to Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
By Susan Light, Stanley V. Polit
On March 11, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 21-10 (Notice), which notifies members that FINRA has updated the form (Filer Form) that must be used to…
Elizabeth L. Carter Blog
Defining the Accredited Investor
The Securities and Exchange Commission (SEC) created the notion of “accredited investors” to ease the tension between their double duty to protect individual investors in private securities offerings and to…